The U.S. Financial Industry Regulatory Authority (FINRA) is investigating Morgan Stanley over how the firm screened clients ...

Morgan Stanley is being probed by the Financial Industry Regulatory Authority over its vetting of clients for the risk of ...

The Goldman Sachs Group, Inc. (NYSE:GS) ranks among the best momentum stocks to buy. On July 17, Morgan Stanley kept its ...

The inquiry is examining the firm's client risk assessments and related practices from October 2021 to September 2024.

Morgan Stanley is under investigation by the Financial Industry Regulatory Authority (FINRA) over potential lapses in anti-money-laundering (AML) controls related to its wealthy clientele, according ...

Morgan Stanley’s wealth management business is facing fresh scrutiny over its anti-money-laundering policies, The Wall Street ...

Morgan Stanley’s other violations include failing to “reasonably monitor” customers’ deposits of 2.7 billion shares of penny stock between 2011 and 2013, Finra said.

Finra dings Morgan Stanley $802,000 for overcharging clients Morgan Stanley was penalized for failing to catch excess sales charges and fees from mutual fund transactions between 2015 to 2021.

Citadel Securities bought the unit of Morgan Stanley that’s focused on electronic market-making for US equity options, a move that further cements the firm’s dominant role in the popular derivatives.

Morgan Stanley will pay nearly $1.7 million in restitution for charging excessive fees in some 529 college savings plans, according to FINRA. The settlement is the first action springing from the ...

The events surrounding the transaction happened from March 2020 through June 2020 and involved a Morgan Stanley customer who bought $250,000 worth of stock, according to Finra.

SYDNEY] Morgan Stanley is being probed by the Financial Industry Regulatory Authority (Finra) over its vetting of clients for ...